SISUNG INVESTMENT MANAGEMENT SERVICES LLC
Adviser information for SISUNG INVESTMENT MANAGEMENT SERVICES LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Louisiana, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 10 | $2.0B |
| Non-Discretionary | 2 | $6.8M |
| Total | 12 | $2.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 12 | $2.0B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 12 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-49929 |
|---|---|
| SEC ERA File Number | 801-49929 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107318 |
| Legal Entity Identifier | 254900TVL7MRXLFMML78 |
Principal Office
201 ST. CHARLES AVENUESUITE 4240
NEW ORLEANS
LA
United States
Monday - Friday, 8:00A.M. TO 5:00P.M.
Tel: 504-544-7700, Fax: 504-544-7701
Websites
Chief Compliance Officer
LAWRENCE J. SISUNG, JR.
CEO, CCO
201 ST. CHARLES AVENUE
SUITE 4240
NEW ORLEANS
LA
United States
Tel:
(504) 544-7700
Fax:
(504) 544-7701
L****@*********M
(Full email address available in API data)
Regulatory Contact
RICHARD L. SOLARES
SR VP / COO
201 ST. CHARLES AVENUE
SUITE 4240
NEW ORLEANS
LA
United States
Tel:
(504) 544-7740
Fax:
(504) 544-7701
R***@*********M
(Full email address available in API data)
Industry Affiliates
| SISUNG SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered municipal advisorInsurance company or agencyReal estate broker or dealerSponsor or syndicator of limited partnerships |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SISUNG, LAWRENCE, JOHN | Individual | – | CEO / CCO | 07/1995 | < 5% |
| SOLARES, RICHARD, LOUIS | Individual | – | SR. VP / COO | 07/1995 | < 5% |
| SISUNG HOLDINGS, LLC | Domestic Entity | – | HOLDING COMPANY 100% OWNER OF SIMS | 06/2017 | > 75% |
| R. L. SISUNG COMPANY | Domestic Entity | SISUNG HOLDINGS, LLC | R.L. SISUNG IS 51% BENEFICIAL OWNER | 06/2017 | 50-75% |
| L. J. SISUNG COMPANY | Domestic Entity | SISUNG HOLDINGS, LLC | L. J. SISUNG IS 49% BENEFICIAL OWNER | 06/2017 | 25-50% |